Attachment_5_-Small_Business_Subcontracting_Plan_(Model_Plan_Outline).doc

SOLICITATION 28321318R00000055

ATTACHMENT 5

SMALL BUSINESS SUBCONTRACTING PLAN

(MODEL PLAN OUTLINE)

SMALL BUSINESS SUBCONTRACTING PLAN

(MODEL PLAN OUTLINE)

Identification Data Contractor:

Address:

Solicitation or Contract Number:

Item/Service:

Total Amount of Contract (Including Options):

Period of Contract Performance (DAY, MONTH & YEAR):

*Federal Acquisition Regulation (FAR) 19.708(b) prescribes the use of FAR clause 52.219-9, "Small Business Subcontracting Plan.” This plan is a suggested model when formulating a subcontracting plan. While this model plan is designed to be consistent with FAR 52.219-9, other subcontracting plan formats may be acceptable. However, failure to include the essential information exemplified in this model may delay the Government’s evaluation of a bid or offer where the clause applies. Further, the use of this model is not intended to waive other applicable requirements under FAR 52.219-9. The term "subcontract," as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a Federal Government prime Contractor or subcontractor for supplies or services required for performance of the contract or subcontract.

1.

Type of Plan (Check One)

Individual plan (all elements developed specifically for this contract and applicable for the full term of this contract, including options).

Master plan (all required elements of an individual plan, except goals; all other elements standard; must be approved and renewed annually).

Commercial plan (plans/goals covers the Contractor’s fiscal year for all commercial items sold by the company. Negotiated by a lead agency. Contractor must provide copy of lead agency approval).

2.

Goals Express goals in terms of percentages of total planned subcontracting dollars for use of small business, small disadvantaged business (SDB), women-owned small business (WOSB), Historically Underutilized Business Zone (HUBZone) small business, veteran-owned small business (VOSB) and service-disabled (SD) VOSB concerns as subcontractors.

**Note: Effective September 17, 2007, subcontracts awarded to an Alaska Native Corporation (ANC) or Indian tribe, as defined in FAR 19.701, regardless of its size or Small Business Administration certification status, shall be counted towards the subcontracting goals for small business and SDB concerns. Therefore, all references in this document to either “small business” or “small disadvantaged” concerns shall include ANCs and Indian tribes. For Items B and C below, if your company and other companies have been designated by an ANC or Indian tribe to receive small business and SDB credit for a subcontract awarded to the ANC or Indian tribe, report only the portion of the total amount of the subcontract designated to your company.**

A.

Total dollars (small and large business) planned to be subcontracted $

B.

Total dollars and percentage of planned subcontracting to small business concerns is and

% (percentage of A above).

C.

Total dollars and percentage of planned subcontracting to SDB concerns is and _____

D.

Total dollars and percentage of planned subcontracting to WOSB concerns is

E.

Total dollars and percentage of planned subcontracting to HUBZone small business concerns is

F.

Total dollars and percentage of planned subcontracting to VOSBs is

G.

Total dollars and percentage of planned subcontracting to SDVOSBs is $

H.

Total dollars and percentage of planned subcontracting to ANCs and Indian Tribes that have not been certified by the Small Business Administration as SDB

I.

Total dollars and percentage of planned subcontracting to ANCs and Indian Tribes that are not small business $

3.

Provide a description of the principal types of supplies and/or services to be subcontracted, using the chart below and an indication of the types of businesses supplying them (i.e., Other Than Small Businesses (OTHER), Small Business (SMALL), SDB, WOSB, HUBzone Small Business, VOSB, and SDVOSB)). Below the chart, provide a list of small business subcontractors:

(Check all that apply)

(Attach additional sheets if necessary.)

4.

Provide a description of the methods used to develop the subcontracting goals for small, SDB, WOSB, HUBZone small business, VOSB, and SDVOSBs (i.e., explain the method and state the quantitative basis in dollars).

5.

Provide a description of methods used to identify potential sources for solicitation purposes.

6.

Indirect costs (check one) ___ are ___ are not included in the dollar and percentage subcontracting goals stated above.

If indirect costs are included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to small, SDB, WOSB, HUBZone small business, VOSB, and SDVOSBs.

7.

Program Administrator Give the name and title of the individual designated to administer the subcontracting program and describe his/her duties and responsibilities:

Name:

Title:

Address:

Telephone:

(Attach additional sheets if necessary for duties and responsibilities.)

8.

Equitable opportunity Describe efforts the Contractor will make to ensure small business, SDB, WOSB, HUBZone small business, VOSB, and SDVOSBs will have an equitable opportunity to compete for subcontracts.

9.

Flow-Down Clause The Contractor shall include the clause under FAR 52.219-8, "Utilization of Small Business Concerns," in all subcontracts that offer further subcontracting opportunities. All subcontractors, except small business concerns, that receive subcontracts in excess of $700,000 ($1.5 million for construction contracts) must adopt and comply with a plan similar to the plan required by FAR 52.219-9, "Small Business Subcontracting Plan" (see FAR section 19.704).

10.

Reporting and Cooperation The Contractor shall: (a) cooperate in any studies or surveys that may be required; (b) submit periodic reports which show compliance with the subcontracting plan; (c) submit the Individual Subcontract Report (ISR) and the Summary Subcontract Report (SSR) in the Electronic Subcontracting Reporting System (eSRS) at www.esrs.gov; and (d) provide for subcontractor agreement to submit ISR and SSR in eSRS at www.esrs.gov; (e) provide its prime contract number, its Data Universal Numbering System (DUNS) number, and the e-mail address of the Contractor’s official responsible for acknowledging receipt of or rejecting the ISRs to all first-tier subcontractors with subcontracting plans so they can enter this information into eSRS when submitting their ISRs; and (f) require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the subcontractor’s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans.

Reporting Period

Report Due

Report Due Date

October 1st - March 31st

ISR

April 30th April 1st - September 30th

ISR

October 30th October 1st - September 30th

SSR

October 30th 11.

Recordkeeping The contractor shall maintain, at a minimum, these types of records to demonstrate procedures adopted to comply with the requirements and goals in the subcontracting plan.

A.

Source lists, guides, and other data identifying small business, SDB, WOSB, HUBZone small business, VOSB, and SDVOSBs.

B.

Records on organizations contacted in an attempt to locate sources that are small business, SDB, WOSB, HUBZone small business, VOSB, and SDVOSBs.

C.

Records on all subcontract solicitations over $150,000 which indicate for each solicitation whether the following types of small businesses concerns were solicited: (1) small; (2) small disadvantaged; (3) women-owned; (4) HUBZone; (5) veteran-owned; (6) service-disabled veteran-owned. For each of the foregoing, indicate whether the type of business was solicited and, if not, the reason why. In addition, if the award itself is not made to a small business, indicate the reason(s).

D.

Records to support other outreach efforts, e.g., contacts with trade associations, business development organizations and attendance at business procurement conferences and trade fairs for small business, including minority and women-owned small business.

E.

Records to support: (1) internal guidance and encouragement given to buyers, e.g., through workshops, seminars, training programs, incentive awards, to purchase from small business sources; and (2) monitoring of their purchase activities to evaluate compliance.

F.

On a contract-by-contract basis, records to support subcontract award data including the name, address, and business size of each subcontractor. (This item is not required for commercial plans.)

(12) The Contractor shall make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the small business concerns it used in preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing and submitting the bid or proposal. Responding to a request for a quote does not constitute use in preparing a bid or proposal. The Contractor used a small business concern in preparing the bid or proposal if–

(i) The Contractor identifies the small business concern as a subcontractor in the bid or proposal or associated small business subcontracting plan, to furnish certain supplies or perform a portion of the subcontract; or

(ii) The Contractor used the small business concern’s pricing or cost information or technical expertise in preparing the bid or proposal, where there is written evidence of an intent or understanding that the small business concern will be awarded a subcontract for the related work if the Contractor is awarded the contract.

(13) The Contractor shall provide the Contracting Officer with a written explanation if the Contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as described in (d)(12) of FAR clause 52.219-9. The contractor must submit this written explanation to the Contracting Officer within 30 days of contract completion.

(14) The Contractor shall not prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor.

(15) The Contractor shall pay its small business subcontractors on time and per the terms and conditions of the underlying subcontract, and notify the Contracting Officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor (see FAR 52.242-5).

16.

Certification This subcontracting plan was prepared and submitted by:

Signature:

Typed Name:

Title:

Date Prepared:

Telephone Number: